| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AARAYAA FINSTOCK PVT.LTD.
(Member : BSE)
|
|
|
|
S.S.VIJAYAKAR
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-JAN-2009
|
|
| 2 |
|
|
ABHIPRA CAPITAL LTD.
(PAN:AABCA1702F)
(Depository Participants : CDSL/NSDL,Member : BSE/NSE/OTC)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
DID NOT REDRESS INVESTOR COMPLAINTS
ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
VIOLATED SEBI CODE OF CONDUCT
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
STOCK EXCHANGE ADVISED TO DEBIT MEMBER’S DEPOSIT
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 VIDE CONSENT ORDER)^CO^08-APR-2009
D FROM UNDERTAKING FRESH BUSINESS AS REGISTRAR FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
17-AUG-2007~
|
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LIMITED ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI’S WITHIN 30 DAYS
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LTD. ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI'S WITHIN 30 DAYS
|
| 3 |
|
|
ACME SHARES & STOCK PVT.LTD.
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF SAWACA BUSINESS MACHINES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-OCT-2004
|
|
| 4 |
|
|
ACME SHARES & STOCK PVT.LTD.
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE ALLOWING SUB BROKER TO TRADE IN SCRIP OF SAWACA COMMUNICATIONS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-JAN-2006
|
|
| 5 |
|
|
ACTIVE FINSTOCK PVT.LTD.
(Member : BSE)
|
|
|
|
VIMAL P.KHANDWALA
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
DEALT WITH UN-REGISTERED SUB-BROKERS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JAN-2009 TO 27-JAN-2009
06-JAN-2009
SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.60,000 VIDE CONSENT ORDER)
07-JAN-2010~
|
SAT: ORDER DATED 06/01/2009 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,00,000 TOWARDS SETTLEMENT CHARGES AND RS.60,000 TOWARDS LEGAL EXPSNES , AS PER CONSENT ORDER
|
| 6 |
|
|
ACTIVE FINSTOCK PVT.LTD.
(Member : BSE)
|
|
|
|
VIMAL P.KHANDWALA
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE DEALING WITH HIS CLIENTS IN SCRIP OF MAZDA FABRICS PROCESSORS LTD.
AIDED AND ABETTED CLIENTS IN CREATING MISLEADING APPEARANCE OF TRADING IN SCRIP OF MAZDA FABRICS & PROCESSORS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-JUN-2007 TO 13-JUL-2007
24-MAY-2007
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 24/05/2007 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 7 |
|
|
ACTIVE FINSTOCK PVT.LTD.
(Member : BSE)
|
|
|
|
VIMAL P.KHANDWALA
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF OASIS MEDIA MATRIX LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
07-OCT-2009
|
|
| 8 |
|
|
ADMIRAL SECURITIES
(Sub-Broker of VSE SECURITIES LTD., Member : BSE,Member : VSE)
|
|
|
DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS
OFFLOADED UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD. IN MARKET WITH ACTIVE CONNIVANCE OF COMPANY MANAGEMENT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-JAN-2009 TO 09-JAN-2009
SUSPENDED REGISTRATION AS SUB-BROKER FROM 03-JAN-2009 TO 09-JAN-2009
12-DEC-2008
|
|
| 9 |
|
|
AHILYA COMMERCIAL PVT.LTD.
(CIN:U51109WB1994PTC065648
PAN:AACCA2226R)
(Member : CSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SCRIP OF MINOLTA FINANCE LTD
INDULGED IN MARKET MANIPULATION AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF MINOLTA FINANCE LTD.
|
IMPOSED PENALTY RS.2,00,000
09-JUL-2009
|
SAT: APPEAL FAILED AND DISMISSED. NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 10 |
|
|
AHILYA COMMERCIAL PVT.LTD.
(CIN:U51109WB1994PTC065648
PAN:AACCA2226R)
(Member : CSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE TRADING ON BEHALF OF CLIENTS IN SCRIP OF SARANG VINIYOG LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SARANG VINIYOG LTD.
|
IMPOSED PENALTY RS.3,00,000
08-APR-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 11 |
|
|
ALACRITY SECURITIES LTD.
(Member : NSE)
|
|
|
|
R.CHANDRASEKARAN
|
|
INDULGED IN MARKET MANIPULATION IN SCRIP OF KAMAL OVERSEAS LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF KAMAL OVERSEAS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 06-SEP-2002 TO 05-OCT-2002
22-AUG-2002
|
|
| 12 |
|
|
ALKA SECURITIES LTD.
(PAN:AAACA4835E)
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
DEALT WITH UNREGISTERED ENTITIES
PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-JAN-2010
30-OCT-2009
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 13 |
|
|
AMAN PORTFOLIO PVT.LTD.
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
30-JAN-2008
|
|
| 14 |
|
|
AMGIS HOLDINGS PVT.LTD.
(Member : NSE)
|
|
|
AIDED AND ABETTED AND ACTED IN CONCERT WITH RELATED CLIENTS IN CREATING ARTIFICIAL MARKET IN SCRIP OF ROOFIT INDUSTRIES LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-AUG-2007 TO 20-OCT-2007
31-JUL-2007
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 15 |
|
|
ANAND RATHI SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
|
ANAND RATHI
|
|
DID NOT EXERCISE DUE SKILL AND CARE IN ITS DEALINGS THROUGH SUB BROKER BID SECURITIES PVT.LTD.
|
DIRECTED TO BE MORE CAUTIOUS IN DEALING WITH SUB-BROKERS
14-AUG-2003
|
|
| 16 |
|
|
ANAND RATHI SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
|
AMIT RATHI
|
|
|
R.K.BHOOTRA
|
|
TRANSFERRED FUNDS BETWEEN DIFFERENT CLIENT ACCOUNTS
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
IMPOSED PENALTY RS.1,00,000
03-NOV-2004
|
|
| 17 |
|
|
ANANTRAI A.PAREKH & SONS
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF EONOUR SOFTWARE LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
16-SEP-2004
|
|
| 18 |
|
|
ANIL G.BHANDARI,M/S
(Member : MPSE)
|
|
|
|
ANIL G.BHANDARI
|
|
DID NOT EXERCISE DUE SKILL AND CARE IN MATTER OF EONOUR TECHNOLOGIES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF EONOUR TECHNOLOGIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-NOV-2003 TO 17-DEC-2003
29-OCT-2003
|
|
| 19 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
(PAN:AAACW2920N)
(Member : BSE/NSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
EXECUTED TRANSACTIONS ON BEHALF OF SHAH BANTY DINESH WHO HAS BEEN PROHIBITED FROM TRADING AS PER SEBI ORDER DATED 23/04/2009 IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAY-2009 TILL FURTHER ORDERS
22-MAY-2009
|
DIRECTED TO APPOINT MR.SURESH B.MENON , CHIEF GENERAL MANAGER TO REPORT WITHIN TWO DAYS FROM THE DATE OF THIS ORDER ON COMPLIANCE OF ANUGRAH STOCK & BROKING PVT.LTD.WITH WHAT HAS BEEN ASSERTED BY IT IN ITS SUBMISSIONS AND AFFIDAVIT AND TO REPORT WITHIN TWO MONTHS FROM DATE OF THIS ORDER ON (I) ADEQUACY OF RISK MANAGEMENT SYSTEM IN TRADING AND SURVEILLANCE INFRASTRUCTURE ESTABLISHED BY ANUGRAH (II) POSSIBILITY OF COLLUSION BETWEEN ANUGRAH AND BANTY DINESH SHAH. PLEA MADE BY ANUGRAH TO REVOKE AD INTERIM ORDER DATED 22/05/2009 RESTRAINING IT FROM FURTHER ACTIVITIES SHALL BE CONSIDERED IMMEDIATELY ON RECEIPT OF REPORT ON COMPLIANCE
AS PER REPORT RECEIVED FROM MR.SURESH MENON, CHIEF GENERAL MANAGER,PREVIOUS DIRECTIONS OF PROHIBITING FROM BUYING ,SELLING OR DEALING IN SECURITIES IN ANY MANNER REVOKED VIDE ORDER DATED 04/06/2009
|
| 20 |
|
|
ANVEE SHARE BROKER PVT.LTD.
(Member : DSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING ON BEHALF OF CLIENTS IN SCRIP OF TACTFULL INVESTMENTS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
21-AUG-2007
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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